Branch Leader

Branch Leader (Onsite, Renton, WA)

Lincoln Investment recognized as one of Philadelphia's Top Workplaces for fifteen years, is an independent broker dealer and registered investment advisor that offers brokerage, investment advisory and other financial services. Lincoln has over 1,000 financial advisors nationwide and we serve over 350,000 clients representing over $36 billion in assets. We are a majority family-owned financial services firm that regards our employees as integral players in our continuous growth. Lincoln Investment's success is built upon our dedication to helping people retire well and promoting a work environment that fosters success. Our financial strength and profitability are natural results of "helping people, having fun, and enjoying success." Lincoln Investment offers a competitive compensation and benefits package. Our Home Office is conveniently located in Fort Washington, PA, just outside of Philadelphia.


Basic Function:


This role involves providing day-to-day leadership and management of branch office functions. This includes supporting financial professionals, training staff, resolving operational issues, and managing daily office operations. The role also requires coordinating office events, and ensuring compliance with regulatory procedures. Additionally, the role involves maintaining data on territory management, assisting with sales presentation materials, and reviewing financial transactions.

Responsibilities:

• Office Leadership - Provide day-to-day leadership and management of branch office functions including:
  • Lead our effort to provide proactive support for financial professionals.
  • Training and assisting financial professionals, sales assistants, and office staff on paperwork, technology and branch compliance procedures.
  • Work with Advisors and Home Office to resolve operational issues.
  • Prepare and present at monthly office meetings and coordinating logistics.
  • Provide answers to client questions via telephone or walk-ins.
  • Provide service support for key employer contacts.
  • Manage daily office operations, including phones, mail, and vendor coordination
  • Support and coordinate office events and corporate meetings, including scheduling, logistics and preparation of materials.

• Implement and Drive Consistent Systems with RVP and Sales Support:
  • Maintain the data on territory management; ensure representation is present.
  • Work with management on reviewing and switching a terminated advisor's book of business.
  • Support sales assistants with creating sales presentation materials as needed.
• Field Compliance and Supervision:
  • The BL may serve as the field supervisor in the event of an inspection by compliance or regulatory agency. The field supervisor is the point of contact responsible for executing on the written compliance procedures at the branch level.
  • The BL may also be responsible for day-to-day review of our FIS transaction blotter, email and correspondence review. The OL will escalate to Management as needed.

Knowledge/Experience :

• Minimum 3 years supervisory experience of investment operations.
• Minimum 10 years of financial services industry experience.
• Thorough knowledge of mutual funds.
• Thorough knowledge of retirement plans, specifically 403(b) and 457(b) plans.
• Thorough knowledge of Word, Excel and PowerPoint.
• Customer service, Financial Advisor and Executive interaction experience.

Education/Training:

• College degree preferred but will consider qualified candidates with the right qualifications.
• Securities licenses required: S7/24. If not currently licensed, will be required to obtain within 3 months of employment.

Physical/Other Requirements : May sit at work station for extended periods of time; may view video display screen for extended periods of time also. Periods of fast pace are normal particularly when working to meet deadlines.

Lincoln Investment is an equal opportunity employer. Lincoln Investment prohibits discrimination and harassment of any type and affords equal employment opportunities to employees and applicants without regard to race, color, religion, sex, sexual orientation, gender identity or expression, pregnancy, age, national origin, disability status, genetic information, protected veteran status, or any other characteristic protected by law. Lincoln Investment conforms to the spirit as well as to the letter of all applicable laws and regulations.